The determination of whether a preamble limits a claim is made on a case-by-case basis in light of the facts in each case; there is no litmus test defining when a preamble limits the scope of a claim根据每个案件的事实,逐案确定序言是否限制了权利要求;没有试金石可以确定序言何时限制了权利要求的范围.
“If the claim preamble, when read in the context of the entire claim, recites limitations of the claim, or, if the claim preamble is ‘necessary to give life, meaning, and vitality’ to the claim, then the claim preamble should be construed as if in the balance of the claim.”“如果在整个权利要求的背景下阅读权利要求序言时,陈述了权利要求的限制,或者如果权利要求序言是‘赋予权利要求生命、意义和活力所必需的’,那么权利要求序言应被解释为与权利要求的其余部分一样。”
1、前序中限定了结构特征 Any terminology in the preamble that limits the structure of the claimed invention must be treated as a claim limitation.序言中任何限制本发明结构的术语都必须被视为权利要求限制。determining that preamble language that constitutes a structural limitation is actually part of the claimed invention确定构成结构限制的前导语言实际上是所要求保护的发明的一部分。下面是MPEP给出的一个例子:The claim at issue was directed to a driver for setting a joint of a threaded collar; however, the body of the claim did not directly include the structure of the collar as part of the claimed article. The examiner did not consider the preamble, which did set forth the structure of the collar, as limiting the claim. The court found that the collar structure could not be ignored. While the claim was not directly limited to the collar, the collar structure recited in the preamble did limit the structure of the driver。“[T]he framework - the teachings of the prior art - against which patentability is measured is not all drivers broadly, but drivers suitable for use in combination with this collar, for the claims are so limited.” 2、前序中限定了用途或目的特征If the body of a claim fully and intrinsically sets forth all of the limitations of the claimed invention, and the preamble merely states, for example, the purpose or intended use of the invention, rather than any distinct definition of any of the claimed invention’s limitations, then the preamble is not considered a limitation and is of no significance to claim construction. 如果权利要求的主体充分且内在地阐述了所要求保护的发明的所有限制,而序言仅陈述了例如本发明的目的或预期用途,而不是对所要求保护发明的任何限制的任何不同定义,则序言不被视为限制,对权利要求的解释没有意义。preamble is not a limitation where claim is directed to a product and the preamble merely recites a property inherent in an old product defined by the remainder of the claim言不是一种限制,其中权利要求针对的是产品,前言仅陈述了权利要求其余部分定义的旧产品固有的属性During examination, statements in the preamble reciting the purpose or intended use of the claimed invention must be evaluated to determine whether or not the recited purpose or intended use results in a structural difference (or, in the case of process claims, manipulative difference) between the claimed invention and the prior art. If so, the recitation serves to limit the claim.在审查过程中,必须对序言中叙述所要求保护的发明的目的或预期用途的陈述进行评估,以确定所叙述的目的或意图用途是否导致所要求的发明与现有技术之间的结构差异(或者,在方法权利要求的情况下,操纵差异)。如果是这样,则叙述用于限制权利要求。
在In re Sinex, 309 F.2d 488判例中,The claims were directed to a core member for hair curlers and a process of making a core member for hair curlers. The court held that the intended use of hair curling was of no significance to the structure and process of making这些权利要求涉及卷发器的核心构件和制作卷发器核心构件的过程。法院认为,卷发的预期用途对制作的结构和过程没有意义However, a “preamble may provide context for claim construction, particularly, where … that preamble’s statement of intended use forms the basis for distinguishing the prior art in the patent’s prosecution history.”然而,“序言可以为权利要求的解释提供背景,特别是在……序言对预期用途的陈述构成区分专利申请历史中现有技术的基础的情况下。”Clear reliance on the preamble during prosecution to distinguish the claimed invention from the prior art transforms the preamble into a claim limitation because such reliance indicates use of the preamble to define, in part, the claimed invention.…Without such reliance, however, a preamble generally is not limiting when the claim body describes a structurally complete invention such that deletion of the preamble phrase does not affect the structure or steps of the claimed invention.” Consequently, “preamble language merely extolling benefits or features of the claimed invention does not limit the claim scope without clear reliance on those benefits or features as patentably significant.”).明确依赖前序以将所要求保护的发明与现有技术区分开来,会将前序转化为权利要求限制,因为这种依赖表明使用前序来部分定义所要求的发明。…然而,在没有这种依赖的情况下,当权利要求主体描述了一项结构完整的发明,使得删除前导短语不影响所要求保护的发明的结构或步骤时,前导码通常不是限制性的。”因此,“仅仅赞美所要求保护的发明的优点或特征的序言语言并不限制权利要求的范围,除非明确依赖这些具有专利意义的优点或特点。”)
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